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Governance and Conflict of Interest Controls for Clearing Agencies, Swap Execution Facilities and Exchanges: Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

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Date Sort descending	Letter Type	Commenter Name
March 28, 2013	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 21-22, 2013 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties (CCPs), trade repositories (TRs) and ISDA
Oct. 26, 2012	Meeting with SEC Officials	Memorandum from the OTC Derivatives Regulators Forum regarding an October 16, 2012, meeting with representatives of certain central counterparties (CCPs) and trade repositories (TRs)
June 6, 2012	Public Comment	Daniel E. Glatter, GFI Group Inc., Assistant General Counsel, New York, New York
Oct. 21, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an October 5, 2011 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties
Sept. 26, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a meeting with a Representative of the Swaps & Derivatives Market Association
Sept. 12, 2011	Public Comment	Christopher A. Klem, Ropes & Gray LLP
Sept. 8, 2011	Public Comment	ABA Securities Association, American Council of Life Insurers, Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association
June 21, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from Citadel LLC
June 20, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a telephone call with representatives from D. E. Shaw & Co., L.P.
June 15, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from BlueMountain Capital Management LLC
June 6, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a June 6, 2011, telephone call with representatives of Citadel LLC and Winston & Strawn LLP
June 3, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a June 3, 2011, telephonic meeting with representatives from BNY Mellon Clearing
May 31, 2011	Public Comment	Futures Industry Association, The Financial Services Roundtable, Institute of International Bankers, Insured Retirement Institute, International Swaps and Derivatives Association, Securities Industry and Financial Markets Association, and U.S. Chamber of Commerce
May 20, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 20, 2011, meeting with representatives from Morgan Stanley
May 13, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 12, 2011, meeting with representatives from Barclays Capital
May 13, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 13, 2011, meeting with a representative from Kalorama Partners, LLC
May 13, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an April 27, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)
May 11, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 9, 2011, telephonic meeting with representatives the Capital Steering Committee of the Securities Industry and Financial Markets Association (SIFMA)
May 5, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 5, 2011, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA), et al.
May 4, 2011	Public Comment	Financial Services Forum, Futures Industry Association, International Swaps and Derivatives Association, and Securities Industry and Financial Markets Association
May 4, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 4, 2011, meeting with representatives of the Institute of International Bankers (IIB)
April 21, 2011	Meeting with SEC Officials	Memorandum from the Office of the Chairman regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association, Inc.
April 14, 2011	Public Comment	"Swap Dealers and Major Swap Participants Should Not be Treated as Identical Twins" submitted by Blackrock
March 30, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 30, 2011, meeting with representatives of Nomura Securities International, Inc.
March 25, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 25, 2011, meeting with representatives of Goldman Sachs
March 24, 2011	Public Comment	Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
March 9, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 9, 2011, meeting with representatives from and members of the Managed Funds Association (MFA)
March 3, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 3, 2011, meeting with representatives of the Institute of International Bankers (IIB)
March 1, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 1, 2011, meeting with representatives of Nomura Holding America Inc. and Nomura Securities International, Inc
Feb. 18, 2011	Public Comment	CFTC Phase-in Implementation Discussion

Last Reviewed or Updated: Dec. 18, 2025

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